SEC Meetings and Other Events
2014 Compliance Outreach Program National Seminar for Investment Advisers
Jan 30, 2014
10:00AM
– 6:00PM ET
Add to Calendar
2014-01-30 10:00:00
2014-01-30 18:00:00
013014 Compliance Outreach Program National Seminar 2014
\n\n
no-reply@sec.gov
America/New_York
public
Handouts
- National Exam Program
- Press Release: http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370540599051
- Examination Priorities for 2014: http://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2014.pdf
- Division of Enforcement
- Press Release: http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370540503617
- Year-By-Year Monetary Sanctions in SEC Enforcement Actions: http://www.sec.gov/news/newsroom/images/enfstats2.pdf
- Year-by-Year SEC Enforcement Statistics: http://www.sec.gov/news/newsroom/images/enfstats.pdf
- Risk Alert on Investment Advisers' Due Diligence Processes for Selecting Alternative Investments
- Valuation of Portfolio Securities and other Assets Held by Registered Investment Companies — Select Bibliography of the Division of Investment Management: http://www.sec.gov/divisions/investment/icvaluation.htm
- SEC Press Release 2013-226 - SEC Sanctions Three Firms Under Compliance Program Initiative: http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370540008287
- 2009 CCOutreach Regional Seminars, The Evolving Compliance Environment - Examination Focus Areas: http://www.sec.gov/info/iaiccco/iaiccco-focusareas.pdf
- In re Carl D. Johns, SEC Release No. IA-3655 (August 27, 2013): http://www.sec.gov/litigation/admin/2013/ia-3655.pdf
- SEC v. GEI Financial Services, Inc, Norman Goldstein, and Laurie Gatherum, Civil Action No. 12-7927 (October 3, 2012): http://www.sec.gov/litigation/complaints/2012/comp-pr2012-206-gei.pdf
- Equitas Capital Advisors, LLC, Equitas Partners, LLC, Davis S. Thomas, Jr, and Susan Christina, SEC Release No. IA-3704 (October 23, 2013): http://www.sec.gov/litigation/admin/2013/34-70743.pdf
- OMNI Investment Advisors, Inc., SEC Release No. IA-3323 (November 28, 2011): http://www.sec.gov/litigation/admin/2011/34-65837.pdf
- In re Northern Lights Compliance Services LLC, Gemini Fund Services LLC, Michael Miola, Lester M. Bryan, Anthony J. Hertl, Gary W. Lanzen, and Mark H. Taylor, Sec Release No. IC-30502 (May 2, 2013): http://www.sec.gov/litigation/admin/2013/ic-30502.pdf
Last Reviewed or Updated: Dec. 5, 2025